Compliance Research Fixed Income FICC recruitment
Description
A new permanent opportunity has arisen within the Markets International Banking Division for a Fixed Income Compliance Officer.
As part of the Markets Compliance team, the Fixed Income (FI) Compliance Officer provides compliance support to the Fixed Interest, Currency and Commodities ("FICC") Research department.
The FI Compliance is responsible for providing advice to and training and monitoring of the FICC Research department as well as providing support and be the point of contact for FICC research management.
Role:
• The individual will be expected to provide compliance advice to The Investment Banks Group on Research related issues including permitted interaction with research and compliance issues related to research content.
• They will work very closely with the Supervisory Analysts, editorial and publishing teams to ensure research is produced according to regulatory requirements.
• Liaison with global counterparts is also expected to ensure global consistency of the Research product and involvement in global projects as necessary. .
• Understanding and appreciation of fixed income markets/products is essential as is a broad understanding of FSA rules relating to research and conflicts of interest.
• Knowledge of research disclosure requirements is essential under UK rules as well as for APAC and US.
• The individual will be expected to also be involved in Compliance initiatives across the department through assisting with policy and procedure developments and other projects on regulatory developments.
• Assist with advisory transactional support for the FICC business, working in a team.
• Provide compliance advice to The Investment Banks Group on Research related issues including permitted interaction with research and compliance issues related to research content.
• Work very closely with the Supervisory Analysts, editorial and publishing teams to ensure research is produced according to regulatory requirements.
• Liaison with global counterparts is also expected to ensure global consistency of the R
• Understanding and appreciation of fixed income markets/products is essential as is a broad understanding of FSA rules relating to research and conflicts of interest.
• Knowledge of research disclosure requirements is essential under UK rules as well as for APAC and US.
Background:
• At least three years experience in a research or compliance advisory role or control room position, preferably from a full service Investment Bank
Essential Skills to Perform the role:
• Understanding and appreciation of fixed income markets/products is essential as is a broad understanding of FSA rules relating to research and conflicts of interest.
• Knowledge of research disclosure requirements is essential under UK rules as well as for APAC and US.
• Understanding of the UK FSA Conduct of Business rules, Global Settlement rules as well as FINRA and US securities laws.
Interviews are already taking place so don’t delay in sending your CV should you feel the role is of interest.